Personnel Hong Kong SFC License Details (ID 81052)

Personnel Hong Kong SFC License Details (ID 81052)

Key Data SFC Licenses Public Disciplinary Actions

SFC licenses

A person without a starting date was in that role since at least 1-Apr-2003, when the current register began.

Show old organisation names

Current only

Organisation	Role	Activity	From	Until
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in futures contracts	2016-10-11	2023-01-12
	Rep	Dealing in securities	2016-10-11	2023-01-12
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2016-04-14	2023-01-12
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in securities	2016-04-14	2016-10-10
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2016-04-14	2016-10-10
Standard Chartered Securities (Hong Kong) Limited	Rep	Dealing in futures contracts	2014-05-26	2016-04-01
	Rep	Dealing in securities	2014-05-26	2016-04-01
GOLDMAN SACHS (ASIA) L.L.C.	Rep	Dealing in securities	2011-03-25	2014-02-19
GOLDMAN SACHS (ASIA) SECURITIES LIMITED	Rep	Dealing in securities	2011-03-25	2014-02-19
GOLDMAN SACHS FUTURES (ASIA) LIMITED	Rep	Dealing in futures contracts	2011-03-25	2014-02-19
Citigroup Global Markets Asia Limited	Rep	Dealing in securities	2006-10-21	2011-02-08
CITIGROUP GLOBAL MARKETS HONG KONG FUTURES AND SECURITIES LIMITED	Rep	Dealing in futures contracts	2006-10-21	2011-02-08
CELESTIAL COMMODITIES LIMITED	Rep	Dealing in futures contracts	2004-03-10	2005-08-18
CELESTIAL SECURITIES LIMITED	Rep	Dealing in securities	2004-03-10	2005-08-18